Commission Opinions and Adjudicatory Orders
The Commission recently amended its Rules of Practice to include new electronic filing requirements.
The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.
| Date Sort descending | Respondents |
|---|---|
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Release No.
IA-6831
File Number:
3-22307
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Release No.
34-102216
File Number:
3-22146
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Release No.
34-102214
File Number:
3-22016
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Release No.
34-102205
File Number:
3-22313
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Release No.
34-102199
File Number:
3-20808
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Release No.
34-102197
File Number:
3-22320
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Release No.
34-102198
File Number:
3-22234
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Release No.
34-102187
File Number:
3-22058
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Release No.
34-102181
File Number:
3-22067
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Release No.
34-102180
File Number:
3-22057
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Release No.
34-102178
File Number:
3-22049
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Release No.
34-102165
File Number:
3-22035
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Release No.
34-102163
File Number:
3-22048
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Release No.
34-102162
File Number:
3-22036
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Release No.
34-102161
File Number:
3-22030
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Release No.
34-102168
File Number:
3-21390
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Release No.
34-102166
File Number:
3-21402
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Release No.
34-102164
File Number:
3-20703
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Release No.
34-102151
File Number:
3-22029
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Release No.
34-102149
File Number:
3-22028
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Release No.
34-102148
File Number:
3-20485
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Release No.
34-102140
File Number:
3-22025
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Release No.
34-102139
File Number:
3-22026
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Release No.
34-102131
File Number:
3-22014
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Release No.
34-102130
File Number:
3-22018
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Release No.
34-102137 , IA-6809
File Number:
3-21266
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Release No.
34-102136
File Number:
3-21414
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Release No.
34-102129
File Number:
3-21944
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Release No.
34-102115
File Number:
3-20209
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Release No.
34-102116
File Number:
3-21222
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Release No.
34-102102
File Number:
3-21001
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Release No.
34-102101 , IA 6807
File Number:
3-21030
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Release No.
34-102085
File Number:
3-21974
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Release No.
34-102082
File Number:
3-21973
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Release No.
34-102079
File Number:
3-21972
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Release No.
34-102075
File Number:
3-22317
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Release No.
34-102071
File Number:
3-22316
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Release No.
34-102070
File Number:
3-22314
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Release No.
34-102058
File Number:
3-22321
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Release No.
34-102059
File Number:
3-22322
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Release No.
34-102055
File Number:
3-21884
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Release No.
34-102051
File Number:
3-22289
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Release No.
34-102052
File Number:
3-22290
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Release No.
34-102050
File Number:
3-22288
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Release No.
34-102049
File Number:
3-22298
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Release No.
34-102048
File Number:
3-22302
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Release No.
34-102038
File Number:
3-22070
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Release No.
34-102036
File Number:
3-22235
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Release No.
34-102034
File Number:
3-22229
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Release No.
34-102035
File Number:
3-21011
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Release No.
34-102033
File Number:
3-22247
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Release No.
34-102032
File Number:
3-21654
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Release No.
34-102030
File Number:
3-22347
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Release No.
Innovative Energy Solutions Inc.
File Number:
3-22318
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Release No.
34-102026
File Number:
3-22257
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Release No.
34-102028
File Number:
3-22293
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Release No.
34-102025
File Number:
3-20297
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Release No.
34-102010
File Number:
3-22250
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Release No.
34-102012
File Number:
3-21981
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Release No.
34-101976
File Number:
3-22299
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Release No.
34-101991
File Number:
3-20647
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Release No.
34-101974
File Number:
3-22303
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Release No.
34-101971
File Number:
3-22296
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Release No.
34-101953
File Number:
3-22246
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Release No.
34-101952, IA-6797
File Number:
3-22286
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Release No.
34-101951
File Number:
3-20238
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Release No.
34-101944
File Number:
3-22284
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Release No.
34-101940
File Number:
3-22263
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Release No.
34-101938
File Number:
3-22287
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Release No.
34-101935
File Number:
3-22294
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Release No.
34-101921
File Number:
3-21503
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Release No.
34-101918
File Number:
3-20387
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Release No.
34-101917
File Number:
3-22285
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Release No.
34-101916
File Number:
3-21818
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Release No.
34-101888
File Number:
3-22292
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Release No.
IA-6787
File Number:
3-22307
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Release No.
IA-6786
File Number:
3-22308
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Release No.
IA-6785
File Number:
3-22250
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Release No.
34-101881
File Number:
3-20504
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Release No.
34-101876
File Number:
3-22265
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Release No.
34-101874
File Number:
3-22261
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Release No.
34-101873
File Number:
3-22266
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Release No.
34-101872
File Number:
3-22260
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Release No.
34-101865
File Number:
3-22319
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Release No.
34-101863
File Number:
3-22099
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Release No.
34-101862
File Number:
3-22295
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Release No.
34-101860
File Number:
3-22249
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Release No.
34-101858
File Number:
3-22016
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Release No.
34-101857
File Number:
3-22022
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Release No.
34-101856
File Number:
3-22248
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Release No.
IA-6783
File Number:
3-21333
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Release No.
34-101849
File Number:
3-21944
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Release No.
34-101846
File Number:
3-20808
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Release No.
34-101845
File Number:
3-19896
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Release No.
34-101840
File Number:
3-22285
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Release No.
IA-6781
File Number:
3-22307
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Release No.
34-101835
File Number:
3-21951
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Release No.
IA-6780
File Number:
3-22308
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Release No.
34-101829
File Number:
3-21654
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Release No.
34-101817
File Number:
3-21972
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